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Employer firm

Independent Financial Group, LLC CRD 7717

$12.9B regulatory AUM 301 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Independent Financial Group, Llc

12671 High Bluff Dr Suite 200, San Diego, CA 92130 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2019-06-18
  • NJ RA
    APPROVED
    Since 2019-06-18

Branch Locations

Oak Ridge, NJ • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Paramus NJ 08/2012 06/2019
Independent Financial Group Oak Ridge NJ 06/2019 Present
  • 08/2012 → 06/2019
    Lpl Financial
    Paramus, NJ
  • 06/2019 → Present
    Independent Financial Group
    Oak Ridge, NJ
Previous Registrations
Other Businesses

(1) INSURANCE AGENT POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/14/2019 ADDRESS: 84 Greendale Dr., Oak Ridge NJ 07438, United States DESCRIPTION: NJ INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-09-21
S63 Uniform Securities Agent State Law Examination 2003-10-03
  • S66 Uniform Combined State Law Examination
    2012-09-21
  • S63 Uniform Securities Agent State Law Examination
    2003-10-03

View on SEC IAPD

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